Compliance Officer
Integrated financial services organisation in Jandakot seeking an experienced Compliance Officer for their head office.
Summary about this job
Other
Company: Private Advertiser
Location: Perth
Work type: Full Time
Salary: n\a
Phone: +61-8-1339-1566
Fax: +61-3-2493-1194
E-mail: n\a
Site: n\a
Detail information about job Compliance Officer. Terms and conditions vacancy
- Monday to Friday – 8:30am to 5:00pm;
- SOR – just off the Kwinana Freeway;
- Full Time
About the Company
Ballast, established in 1996, is an Australian owned and operated national financial services Dealer Group dedicated to providing an integrated range of financial services including:
- Accounting;
- Financial Planning;
- Mortgage Broking;
- Self-Managed Super Funds (SMSF).
About the Role
Assist the General Manager in the administration of internal compliance controls and regulator procedures. You will be an integral team member and have the chance to support and grow relations with the sales team, clients and management. Open communications is encouraged and practiced in this workplace which makes it a great place to be. You will be working in a small, focused team with a range of financial advisers and finance brokers.
You'll be kept busy, while you complete the following tasks:
- Act as adviser/broker support to the national network;
- Coordinate professional development days;
- Conduct investigations according to internal procedures/process;
- Perform due diligence on new and existing advisers and brokers and provide all supporting documentation on cases requiring escalation;
- Complete regulatory reporting requirements;
- Assist with responding to requests from law enforcement and outside agencies;
- Monitor compliance incidents and breaches on a regular basis, alerting and escalating all incidents to General Manager;
- Interact with group operations, Risk Management and other business units concerning processes and recommend relationship retention or termination;
- Maintain current knowledge on compliance regulations (Know Your Customer and Anti-Money Laundering)
Skills and Experience
For you to perform successfully in this role you know you must be very well organised and have the ability to prioritise. You are firm but friendly and articulate (written and verbal), as you will be challenged. Open communicator, thrive with owner responsibility and thoroughly enjoy being part of a team.
Experience in compliance ideally from financial services, insurance or other regulated industries is highly regarded.
Culture and Benefits
This is an exciting time to join Ballast, we are now refining our operations with a commitment to improve the service we offer our business partners, and you will be critical to us achieving this goal.
To Apply
Apply for this position via the 'Apply Now' button. Please include a cover letter and a detailed CV. Applications without a cover letter will not be considered.
*No agencies please.
**Only applicants who have been short-listed and called for interview will be kept informed. All other applicants should assume that if they don't receive any notification from us, their application has been unsuccessful.